Regulatory Exam Management
Course Number: REM1
Course Code: n/a
Focuses on the regulatory examination process and keys for administering the exam process to ensure success. Describes the role and examination approach for different regulatory agencies, establishing responsibilities for bank employees and reducing the impact on bank operations. Covers responding to unfavorable exam results, appeals process and viewing the relationship as a partnership.
After completing this course, students will be able to:
-Explain bank and regulatory objectives for examinations
-Identify the tools used by regulatory agencies to execute the supervisory process
-Describe fundamental components of exam management from the regulatory perspective
-Describe fundamental components of exam management from the bank perspective
-Identify leading practices for exam management
Audience: Risk and internal audit professionals; third-party service providers and state/federal examiners; first-line risk and operations managers with responsibilities for operational risk management, including implementing, managing, monitoring, reporting, auditing and/or supporting an effective operational risk management program, policies and procedures.